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E••••• S•••• S••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

E••••• S•••• S••••

Advisor at P•••••• A•••••• G••••• L••

Louisville, CO | MORRISTOWN, NJ

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Search this name across graphsid dfx:ria:9b42647c-20ef-5a8f-2847-87d194cf9c67

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 29, 2004 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: P•••••• A•••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 28, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• A•••••• G••••• L••	Bd affiliated wealth	Nov 23, 2022	n/a	yes	MORRISTOWN, NJ\|Louisville, CO	Current employment
W•••••• W••••• M••••••••• L••	Independent wealth	Apr 3, 2017	Nov 23, 2022	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• W••••• M••••••••• L••	P•••••• A•••••• G••••• L••	Nov 23, 2022	Nov 23, 2022	0	Firm change	RIA to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	W•••••• W••••• M••••••••• L••	Nov 10, 2015

Relationships

Registered with (4)

→ P•••••• A•••••• G••••• L••Registered adviserregistration: current employment
Nov 23, 2022 to presentfactForm ADV
→ W•••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 3, 2017 to Nov 23, 2022factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Sep 21, 2007 to Nov 10, 2015factForm ADV
→ A• G• E•••••• • S•••• I•••

Dated events

Occurred
Nov 23, 2022
A•••••• firm change
E••••• S•••• S•••• left W•••••• W••••• M••••••••• L•• for P•••••• A•••••• G••••• L•• (registered 2022-11-23)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9b42647c-20ef-5a8f-2847-87d194cf9c67
First observed: Jan 29, 2004
Last observed: Sep 15, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.